Director Maura A. Markus of Broadridge Financial Solutions, Inc. filed a Form 4 on November 12, 2026, reporting three transactions in common stock and related derivative securities between November 10 and November 12, 2026.

Key Highlights

  • DSU grant on November 10, 2026: Markus received 645 Deferred Stock Units at $0.0000 under Broadridge's 2018 Omnibus Award Plan, vesting immediately upon grant and settling in common stock upon separation from service.
  • Stock option exercise on November 12, 2026: Markus exercised 3,180 stock options at an exercise price of $64.89, converting them into 3,180 shares of common stock.
  • Same-day share sale on November 12, 2026: Markus sold 3,180 shares of common stock at a weighted average price of $191.89, with individual sale prices ranging from $189.93 to $193.00.
  • New stock option grant on November 10, 2026: Markus received 2,659 stock options at $0.0000 exercise price, vesting immediately upon grant, exercisable through November 10, 2036, at a derivative security price of $192.96.
  • Beneficial ownership following transactions: Markus directly held 33,769.102 shares of common stock and 1,573 derivative securities (stock options at $64.89) plus 2,659 newly granted stock options following all reported transactions.
  • Rule 10b5-1 plan: The filing indicates the transactions were made pursuant to a contract, instruction, or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Markus's November 2026 Transactions at Broadridge Financial Solutions

According to the filing, director Maura A. Markus of Broadridge Financial Solutions, Inc. (NYSE:BR) reported a series of transactions spanning November 10 and November 12, 2026. On November 10, Markus received a grant of 645 Deferred Stock Units under Broadridge's 2018 Omnibus Award Plan at a price of $0.0000. The filing states these units "vest in full upon grant and will settle in shares of Broadridge common stock upon the director's separation from service with Broadridge."

Also on November 10, Markus received 2,659 stock options with an exercise price of $0.0000, described in the filing as vesting immediately upon grant. These options carry a derivative security price of $192.96 and an expiration date of November 10, 2036. On November 12, Markus exercised 3,180 previously held stock options at an exercise price of $64.89 per share, then sold all 3,180 resulting shares at a weighted average price of $191.89. The filing notes those shares "were sold in multiple transactions at prices ranging from $189.93 - $193.00, inclusive," and that full per-price detail is available upon request to Broadridge, any shareholder, or SEC staff.

Following all reported transactions, the filing shows Markus directly held 33,769.102 shares of common stock, 2,659 newly granted stock options (at $0.0000 exercise price), and 1,573 remaining stock options at $64.89. The filing was signed by Maria Allen under power of attorney on November 12, 2026, and indicates the transactions were executed pursuant to a Rule 10b5-1(c) plan.

What Was Disclosed

The Form 4 discloses a DSU grant, a new stock option award, an option exercise, and a same-day share sale by Director Maura A. Markus of Broadridge Financial Solutions between November 10 and November 12, 2026, all conducted under a Rule 10b5-1 plan.